4//SEC Filing
KRUEGER HARVEY M 4
Accession 0001144204-12-044666
CIK 0001397821other
Filed
Aug 12, 8:00 PM ET
Accepted
Aug 13, 10:15 AM ET
Size
11.3 KB
Accession
0001144204-12-044666
Insider Transaction Report
Form 4
KRUEGER HARVEY M
Director
Transactions
- Exercise/Conversion
Class A common stock
2012-08-09+3,281→ 3,281 total(indirect: see footnote) - Sale
Class A common stock
2012-08-09$13.25/sh−3,281$43,473→ 0 total(indirect: see footnote) - Exercise/Conversion
Duff and Phelps Acquisitions, LLC New Class A Units
2012-08-09−3,281→ 1,790 total(indirect: see footnote)→ Class A common stock (3,281 underlying)
Holdings
- 18,714
Class A common stock
- 35,920
Duff and Phelps Acquisitions, LLC New Class A Units
→ Class A common stock (35,920 underlying)
Footnotes (3)
- [F1]Pursuant to an exchange agreement entered into in connection with the closing of the initial public offering of Duff and Phelps Corporation (the "IPO"), holders of New Class A Units of Duff and Phelps Acquisitions, LLC ("DPA") issued in connection with the reorganization of DPA immediately prior to the consummation of the IPO may exchange their New Class A Units for Class A common stock of Duff and Phelps Corporation on a one-for-one basis, subject to the vesting, minimum retained ownership requirements and transfer restrictions and customary conversion rate adjustments for splits, unit distributions and reclassifications contained in the exchange agreement.
- [F2]Such shares are held by Mr. Krueger through Vestar/DandP Holdings, LLC.
- [F3]Shares were sold by Vestar/DandP Holdings, LLC in connection with a public offering of shares of Class A common stock.
Documents
Issuer
Duff & Phelps Corp
CIK 0001397821
Entity typeother
Related Parties
1- filerCIK 0001198861
Filing Metadata
- Form type
- 4
- Filed
- Aug 12, 8:00 PM ET
- Accepted
- Aug 13, 10:15 AM ET
- Size
- 11.3 KB